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Series63最新日本語版参考書 & Series63専門試験、Series63日本語参考 - Royalholidayclubbed
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Royalholidayclubbedが提供したFINRAのSeries63最新日本語版参考書「Uniform Securities Agent State Law Examination」試験問題と解答が真実の試験の練習問題と解答は最高の相似性があり、一年の無料オンラインの更新のサービスがあり、100%のパス率を保証して、もし試験に合格しないと、弊社は全額で返金いたします。 ためらわずに速くあなたのショッピングカートに入れてください。でないと、絶対後悔しますよ。 使用して私たちRoyalholidayclubbedが提供した対応性練習問題が君にとってはなかなかよいサイトだと思います。
Uniform Securities State Law Series63 あなたが試験に合格することを助けられますから。
我々はあなたに提供するのは最新で一番全面的なFINRAのSeries63 - Uniform Securities Agent State Law Examination最新日本語版参考書問題集で、最も安全な購入保障で、最もタイムリーなFINRAのSeries63 - Uniform Securities Agent State Law Examination最新日本語版参考書試験のソフトウェアの更新です。 プリセールス.サービスとアフターサービスに含まれているのです。RoyalholidayclubbedのFINRAのSeries63 テストサンプル問題試験トレーニング資料を必要としたら、まず我々の無料な試用版の問題と解答を使ってみることができます。
我々の承諾だけでなく、お客様に最も全面的で最高のサービスを提供します。FINRAのSeries63最新日本語版参考書の購入の前にあなたの無料の試しから、購入の後での一年間の無料更新まで我々はあなたのFINRAのSeries63最新日本語版参考書試験に一番信頼できるヘルプを提供します。FINRAのSeries63最新日本語版参考書試験に失敗しても、我々はあなたの経済損失を減少するために全額で返金します。
FINRA Series63最新日本語版参考書 - 私の夢は最高のIT専門家になることです。
最も少ない時間とお金でFINRA Series63最新日本語版参考書認定試験に高いポイントを取得したいですか。短時間で一度に本当の認定試験に高いポイントを取得したいなら、我々RoyalholidayclubbedのFINRA Series63最新日本語版参考書日本語対策問題集は絶対にあなたへの最善なオプションです。このいいチャンスを把握して、RoyalholidayclubbedのSeries63最新日本語版参考書試験問題集の無料デモをダウンロードして勉強しましょう。
最近、FINRAのSeries63最新日本語版参考書試験は非常に人気のある認定試験です。あなたもこの試験の認定資格を取得したいのですか。
Series63 PDF DEMO:
QUESTION NO: 1
A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of
A. fraud.
B. churning.
C. unauthorized transactions.
D. nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.
Answer: D
Explanation: A broker-dealer of commodity futures contracts is guilty of nothing under the Uniform
Securities Act since a commodity futures contract is not a security as defined by the USA. The broker-dealer may, however, find himself in trouble with the Commodity Futures Trading
Commission,
which is the regulatory agency of the futures market.
QUESTION NO: 2
An investment adviser or its representative may
A. only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B. exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
C. exercise discretionary power in the purchase or sale of securities for a client's account as long as
D. exercise discretionary power in the purchase or sale of securities for a client's account only after
Answer: B
Explanation: An investment adviser or its representative may exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority
over the account within 10 business days of the first transaction placed, assuming oral authority has already been given.
QUESTION NO: 3
Which of the following would be an unsuitable recommendation for your 68-year-old client?
A. a Treasury Inflation Protected Security (TIPS)
B. a deferred annuity
C. an S&P 500 Index mutual fund
D. a high quality corporate bond fund
Answer: B
Explanation: A deferred annuity would be an unsuitable recommendation for your 68-year-old client.
These annuities charge significant penalties for early withdrawals-and "early" can mean before 10 years,
or even longer. A 68-year-old client may have the need to withdraw his money early to make medical payments.
QUESTION NO: 4
A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder
for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.
A. I, II, and III
B. I and II only
C. II and III only
D. I and III only
Answer: C
Explanation: Only Selections II and III are true. A limited power-of-attorney gives the designated person
the right to obtain account statements, including tax statements, on behalf of the account holder and to
order the purchase of an asset for the account holder's account. Only a full (or unlimited) power-of-attorney allows the designated person to withdraw any proceeds from the account.
QUESTION NO: 5
When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses
A. I, II and III
B. I only
C. I and II only
D. I and III only
Answer: A
Explanation: When selling shares in a closed-end investment company, an agent must inform the client of
any commissions, underwriting fees, or miscellaneous other offering expenses involved.
Microsoft MB-500 - そうすれば、わかりやすく、覚えやすいです。 Psychiatric Rehabilitation Association CPRP - あなたは試験の最新バージョンを提供することを要求することもできます。 CIPS L5M5 - 弊社の専門家は経験が豊富で、研究した問題集がもっとも真題と近づいて現場試験のうろたえることを避けます。 Amazon AIF-C01-KR - もちろんありますよ。 RoyalholidayclubbedはFINRAのCompTIA SY0-701「Uniform Securities Agent State Law Examination」の認証試験の合格率を高めるのウエブサイトで、Royalholidayclubbed中のIT業界の専門家が研究を通じてFINRAのCompTIA SY0-701の認証試験について問題集を研究し続けています。
Updated: May 26, 2022
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